Evidence-Based Practice

Guidelines for Dysarthria:

Management of
Velopharyngeal Function

Academy of Neurologic Communication Disorders and Sciences:

Writing Committee for Practice Guidelines in Dysarthria:
Kathryn M. Yorkston, Ph.D., BC-NCD
Department of Rehabilitation Medicine
University of Washington
Seattle, Washington

Kristie Spencer, M.S.

Department of Speech and Hearing Sciences
University of Washington
Seattle, Washington

Joseph Duffy, Ph.D., BC-NCD

Division of Speech Pathology
Department of Neurology
Mayo Clinic
Rochestei Minnesota

David Beukelman, Ph.D.

Department of Special Education and Communication Disorders
University of Nebraska
Lincoln, Nebraska

Lee Ann Golper, Ph.D., BC-NCD

Department of Hearing and Speech Sciences
Vanderbilt-Bill Wilkerson Center
Nashville, Tennessee

Robert Miller, Ph.D., BC-NCD

Department of Rehabilitation Medicine
Veterans’ Administration Puget Sound Health System
Seattle, Washington

Journal of Medical Speech Language Pathology

Volume 9, Number 4, pp. 257—274
Copyright © 2001 Singular, an imprint of Delmar, a division of Thomson Learning, Inc.
 258 JOURNAL OF MEDICAL SPEECH-LANGUAGE PATHOLOGY,
VOL.9, NO. 4

Edythe Strand, Ph.D., BC-NCD

Division of Speech Pathology
Department of Neurology
Mayo Clinic
Rochester; Minnesota

Marsha Sullivan, MA.

Munroe-Meyer Institute for Genetics and Rehabilitation
University of Nebraska—Omaha
Omaha, Nebraska

The Academy of Neurologic Communication Disorders and Sciences

(ANCDS) estab
lished a writing committee to develop evidence-based practice guidel
ines for speech-lan
guage pathologists who treat individuals with dysarthria. The curren
t guidelines draw
from both the research literature and expert opinion and addres
s the issues of man
agement of velopharyngeal impairment in dysarthria. A search of
electronic databases
(PsychlNFO, MEDLINE, and CINAHL) and hand searches of relevan
t edited books
yielded 33 intervention studies in the categories of prosthetics, surgery
and exercise. A
summary of quality of evidence is provided along with a clinical decisio
n-making flow
chart for the management of velopharyngeal impairment in both degene
rative and sta
ble/recovering dysarthria. Palatal lift intervention was found to
be effective in selected
individuals with dysarthria. The best candidates have a flaccid soft
palate, pharyngeal
wall movement, good oral articulation and respiratory support, and
a stable disease
course. Recommendations for future research are provided.

BACKGROUND sclerosis, and so on), and pathophysiology (flaccidi

Dysarthria is a heterogeneous group of neurologi
cal speech disorders whose characteristics reflect
abnormalities in the strength, speed, range, timing,
or accuracy of speech movements as a result of
pathophysiologic conditions such as weakness,
spasticity, ataxia, rigidity and a variety of involun
tary movements (e.g., dystonia, tremor). Dys
arthrias can affect the respirators laryngeal, velo
pharyngeal, and oral articulatory subsystems,
singly or in combination. The impact of dysarthria
ranges from a barely appreciable speech disorder to
a reduction in the intelligibility of speech to an in-
ability to speak. This group of disorders varies
along a number of dimensions, including age of on
set (congenital or acquired at any age), cause (vas
cular, traumatic, neoplastic, and so on), natural
course (developmental, recovering, stable, degener
ative, and so on), site of lesion (many sites in the
central or peripheral nervous system or both), neu
rologic diagnosis (Parkinson disease, traumatic
brain injury, cerebral palsy, amyotrophic lateral
ty, spasticity, ataxia, rigidity, and so on). The chal
lenges inherent to the clinical management of per
sons with dysarthria are numerous. Speech-language
pathologists are faced with a myriad of assessment
approaches and treatment techniques—many with
potential utility for an individual client—but some
with dubious validity and utility. Converging evi
dence in the research literature can serve as the
foundation for the development of guidelines for
clinical practice.
Mission Statement
The Writing Committee for Practice Guidelines in
Dysarthria is charged by the Academy of Neurolog
ic Communication Disorders and Sciences (ANCDS)
with developing evidence-based practice guidelines
for speech-language pathologists. (For a review of
evidence-based practice and practice guidelines as
applied to the field of speech-language pathology
see Yorkston et aL, 2001.) These practice guidelines
stem from an evidence-based review that draws
EVIDENCE-BASED PRACTICE GUIDELINES FOR DYSARTI{RIA
from the research literature as well as expert opin
ion. They address some of the major issues in the
management of children and adults with dys
arthria. Practice guidelines are intended for use in
making clinical decisions about the management of
specific clinical problems. In this article, guidelines
for the management of velopharyngeal impairment
in dysarthria are reviewed.
Justification
The Writing Committee of Practice Guidelines for
Dysarthria developed a list of clinical questions
faced by speech-language pathologists caring for
individuals with dysarthria. The topic of manage
ment of velopharyngeal impairment was selected
for a number of reasons. First, it is a common man
ifestation of dysarthria and can complicate all as
pects of speech production. Second, variation in ap
proaches to management exists in clinical practice.
Finally, the intervention literature is substantial
and dates back to the 1960s.
Terminology
Through the years, a number of terms have been
used to describe velopharyngeal disorders in the
cleft palate and motor speech populations. These
include velopharyngeal impairment, inadequacy,
insufficiency, incompetency, and dysfunction. In a
recent state of the art review; Kuehn and Moller
(2000) suggest that there is no universal agree
ment on distinctions among these terms. They sug
gest use of the term velopharyngeal impairment
because it encompasses a wide variety of velopha
ryngeal disorders and because it is consistent with
terminology used in the World Health Organiza
tion’s classification system (World Health Organi
TABLE 1. The sequence of activities for development of practice guidelines.
• A panel of experts (the writing committee) is convened
• Assumptions are clarified and pertinent questions are identified
• An intensive literature search is conducted and pertinent articles are retrieved
• Intervention studies are rated for quality of evidence
• A technical report is drafted that summarized the research literature as well as the expert opinion of the
writing committee
• Expert opinion is obtained
• Recommendations are drafted, reviewed, and revised
• Guidelines are distributed.
259
zation, 1999). The term velopharyngeal impair
ment refers to any failure of the velopharyngeal
mechanism to open or close in a normal fashion for
speech (Tomes & Kuehn, 1996).
PROCEDURES: REVIEWING
THE EVIDENCE
Development of practice guidelines can be viewed
as a process of translating evidence from both re
search literature and expert opinion into recom
mendations for clinical practice. To evaluate the
quality of any practice guideline, it is important to
document exactly how they were developed. The
development process typically involves a series of
steps (Trombly, 1995) as summarized in Table 1.
The following section provides specifics about the
experts (including both the writing committee and
the reviewers), the searches, criteria for inclusion
of studies, and rating of evidence.
The Writing Committee
First, a group of experts (the writing committee)
was convened. These individuals represented a
broad range of clinical experience in the manage
ment of dysarthria. The initial tasks of the writing
committee were to clariIr assumptions upon which
the guidelines are based, to identify pertinent clin
ical questions, and to define the scope of the litera
ture to be evaluated.
The Searches
Next, an intensive literature search was conducted
and appropriate intervention articles were re
trieved. The following electronic databases were
260 JOURNAL OF MEDICAL SPEECH-LANGUAGE PATHOLOGY, VOL.9, NO. 4
searched: PsychINFO covering 1,300 journals (1967
to July 2000), MEDLINE covering 3,900 journals
(1966 to July 2000), and CINAHL covering 600 jour
nals (1982 to July 2000). The initial searches were
keywords paired with the term dysarthria, for ex
ample, dysarthria and velopharyngeal, dysarthria
and hypernasality, dysarthria and resonance. Later
searches paired terms such as velopharyngeal, hy
pernasality, and resonance with the terms speech
and treatment. Because the intent was to carry out
the broadest possible search, other sources of evi
dence were also sought. In addition to the electron
ic searches, hand searches of relevant edited books
in the field of dysarthria and ancestral searches of
extant references (e.g., studies cited within an arti
cle or chapter) were conducted.
Criteria for Inclusion of Studies
The general search on the topic of dysarthria yield
ed 1,042 references. From this large search, refer
ences related to velopharyngeal function were
identified, and those related to intervention were
obtained and rated. Intervention studies were de
fined as those focusing on treatment of the velopha
ryngeal system that was applied to at least one per
son with dysarthria. Thus, articles were excluded
that (a) described but did not treat velopharyngeal
function in dysarthria, (b) applied treatment ap
proaches to individuals without impairment, and
(c) studied techniques for management of velopha
ryngeal impairment associated with disorders other
than dysarthria, (e.g. cleft palate). Review articles
and chapters that surveyed intervention served as
supportive documentation for a flowchart of man
agement decisions described later in this article.
Rating the Evidence
Each intervention study was analyzed for method
ological rigor. Strength of evidence was rated ac
cording to principles outlined by the American Psy
chological Association (Chambless & Hollon, 1998)
and was determined by asking the following series
of questions:
How well were the subjects described?
How well was the treatment described?
What measures of control were imposed in the
study?
Were the consequences of the intervention well
described?
The rating scheme is described more fully else
where (Yorkston et al., 2001). A table of evidence
was then created that contained a summary of each
study and allowed comparisons among studies and
over time.
Expert Reviews
The quality of evidence found in the intervention
literature along with the expert opinion of the writ
ing committee was summarized in a technical re
port. A draft of this report was made available to a
larger panel of expert reviewers. In the case of
these practice guidelines for management of
velopharyngeal impairment, the technical report
was reviewed by 28 experts in addition to the writ
ing committee. A majority of these individuals hold
doctoral degrees (6 1%). The average length of clini
cal practice was 19 years. Although most of the ex
pert reviewers were members ofANCDS (68%), the
opinion of reviewers from outside of the organiza
tion’s membership with known expertise on
velopharyngeal function was also sought. The com
ments of the expert reviewers were carefully con
sidered and used to modify the technical report. Fi
nally, the guidelines were distributed in the form of
both a technical report, made available on the web-
sites of ANCDS (http://www.duq.edulancds/) and
ASHA (http:llwww.asha.org[), and published in this
clinically focused article.
SUMMARY OF EVIDENCE FROM
INTERVENTION STUDIES
A total of 33 intervention studies were identified,
obtained, and rated by at least two members of the
writing committee. A sunirnary of the table of evi
dence in which the studies were rated can be found
in the technical report. The following section pro
vides an overview of the evidence, including the
types of interventions and management of velopha
ryngeal impairment in dysarthria.
What Interventions Are Reported
in the Research Literature?
The intervention studies were classified into three
categories: prosthetic, surgical and exercise. Pros
thetic intervention included palatal lifts, nasal, or
nasopharyngeal obturators and palatal desensiti
zation associated with palatal lift fitting. Surgical
intervention included pharyngeal flap surgery,
EVIDENCE-BASED PRACTICE GUIDELfl’ES FOR DYSARTHRIA
pharyngeal implants, and teflon injections. Exer
cise included palatal training devices and resis
tance exercises with continuous positive airway
pressure (CPAP). Table 2 contains a summary of
the types of interventions for velopharyngeal im
pairment reported in research articles over a 30-
year period. Also included in Table 2 is the number
of subjects in each category The largest category
was prosthetic intervention with 21 studies (61% of
the total) followed by the surgical category with 9
articles (27% of the total), and the exercise catego
ry with 2 articles (6% of the total). When interven
tion options were compared in terms of the number
of cases or subjects reported, palatal lift interven
tion was by far the most common with 83% of sub
jects (186 of 224) receiving palatal lifts. Sixteen
percent of subjects received pharyngeal flap
surgery. However, since 1990, only 2 cases of pha
ryngeal flap surgery were reported.
It is also important to note interventions that
were not documented in the literature. This exten
sive search of the published literature found no ev
idence supporting the following techniques: push
ing techniques; strengthening exercises, such as
blowing and sucking; tasks that encourage the pa
tient to control and modify the airstream using
balls, whistles, candles, fluff; powder, paper bub
bles, straws, and so on; and inhibition techniques,
such as prolonged icing, pressure to muscle inser
tion points, slow and irregular stroking and brush
ing, and desensitization.
A review of the current research suggests that
there is not sufficient evidence to assess the effec
tiveness of surgical management or exercise for
velopharyngeal impairment in dysarthria. In the
area of exercise, only two case reports have been
published. In the area of surgical intervention, evi
dence is insufficient to make recommendations. Ear
ly reports draw from the field of cleft palate. In fact,
the first report of pharyngeal flap intervention in
neurologic populations was entitled, “Cleft palate-
TABLE 2. Number of articles in various intervention categories and
total number of participants.
Timeframe Prosthetic
< 1970 3 (12)
1970s 8 (77)
1980s 6 (63)
1990 thru 7/00 4 (34)
Total 21 (186)
Parentheses indicate the total number of subjects.
261
type speech in the absence of cleft palate” (Randall,
Bakes, & Kennedy, 1960). Other studies published
prior to 1970 are called “preliminary” reports
(Hardy, Rembolt, Spriestersbach, & Jaypathy, 1961)
and lack both the detailed case descriptions and
comprehensive outcome measures needed for docu
mentation of effectiveness. Often surgical interven
tion was described in complex cases, such as the case
reported by Johns (1985) of an individual with a
gunshot wound to the left frontal lobe and the
mandible or in cases where behavioral and prosthet
ic intervention had already failed. Thus, the corn
plenty of the cases makes generalization to a broad
er population difficult. Palatal lift intervention was
first reported as a response to apparent dissatisfac
tion with pharyngeal flap surgery. Hardy and his
colleagues, who had in 1961 authored one of the first
reports of pharyngeal flap surgery, published a
study of palatal lift intervention in 1969. As a ratio
nale for the palatal lift intervention, they cited diffi
culty in predicting the successful outcome with pha
ryngeal flap surgeries. Thus, recommendations for
the appropriateness of surgical intervention cannot
be offered at this time given the insufficient founda
tion of applicable research.
Evidence for the Effectiveness
of Prosthetic Intervention
Because intervention studies in the area of pros
thetic management are the most common and pro
vide an adequate picture of candidates and out
comes of intervention, the following sections will
highlight the effectiveness prosthetic intervention.
Who Is a Good Candidate for
Prosthetic Intervention?
Because dysarthria represents a heterogeneous
group of disorders, identifying good candidates for
intervention is dependent in part upon the quality
Surgical Exercise Total
3 (9) 6 (21)
3 (18) 1 (1) 12 (96)
1 (1) 7 (64)
2 (6) 1 (2) 7 (42)
9 (35) 2 (3) 33 (224)
262 JOURNAL OF MEDICAL SPEECH-LANGUAGE PATHOLOGY VOL.9, NO.4
of the description of subjects. Studies reviewed
here included descriptions of subject characteris
tics that ranged from comprehensive to minimal.
The following characteristics were reported in at
least 50% of the studies: age, gender, medical diag
nosis, time post onset, speech characteristics, treat
ment history, severity of dysarthria, physiologic da
ta, and data from the neurologic examination.
Intervention for velopharyngeal impairment was
studied most frequently in individual s with trau
matic brain injury (TBI), cerebrovascular accident
(CVA), and cerebral palsy (CP). Although motor
neuron disease was only reported in 5 of the 32 ar
ticles (16%), a recent study (Esposito, Mitsumoto, &
Shanks, 2000) reported the results of palatal lift fit
ting in a group of 25 speakers with amyotrophic
lateral sclerosis.
The type of dysarthria was not specified for some
or all of the subjects in 75% of the articles. Howev
er, when the type of dysarthria was specified (as it
was in 37% articles), flaccidity was a component in
most cases. The second most common type of
dysarthria was a mixed flaccidlspastic dysarthria.
The relatively low rate of reporting dysarthria type
likely reflects the historical development of the
field. The first study reporting type of dysarthria
(flaccid reported in Netsell and Daniel, 1979) oc
curred only after the publication of the classic
Mayo Clinic studies of differential diagnosis in
dysarthria (Darley, Aronson, & Brown, 1969a,
1969b; Darley, Aronson, & Brown, 1975).
In reviewing the description of candidacy and the
rationale for intervention contained in the studies,
the following general categories emerged:
Speech Characteristics. Several speech charac
teristics were associated with candidacy including
hypernasality, nasal emission, and severe reduc
tion in intelligibility.
Physiologic Factors. The deficient functioning of
the velopharyngeal mechanism was identified fre
quently as a rationale for intervention under this
category This included characteristics such as
velopharyngeal incompetence, palatopharyngeal
paralysis, inconsistent soft palatal contact with the
pharyngeal wall, and inability to achieve adequate
oral pressure. Poor respiratory support also was in
dicated as a physiologic rationale for management.
Resolution of Symptoms. The notion that reso
lution of the velopharyngeal incompetence would
lead to speech improvement was cited as a rationale
for intervention. At times, this premise was ex
pressed in procedural phrases, such as “improved
production of plosives and fricatives with manual
occlusion of the nares” (Stewart & Rieger, 1994, p.
151).
History of Previous Intervention. The history
of previous interventions was a common rationale
for decisions made about the chosen course of ther
apy. For example, behavioral speech treatment had
been unsuccessful or progress had plateaued at the
time when intervention was undertaken.
Natural Course of the Disease. The course of
the disease also was used to determine candidacy.
For example, cases with the diagnosis of traumatic
brain injury were reported where the time post on
set suggested that no further speech recovery was
likely.
Professional Judgment. Generic statements
about professional judgments also served as a ra
tionale for intervention. These included statements
such as a “multidisciplinary evaluation was used to
determine candidacy” (Stewart & Rieger, 1994, p.
151). The category of professional judgments also
included statements such as “other approaches
such as surgery were contraindicated” (Gonzalez &
Aronson, 1970, p. 92) and “interventions were
judged to be effective for other populations particu
larly those with craniofacial abnormalities” (Crike
lair, Kastein, & Cosman, 1970, p. 182).
Patient Preferences. Statements that can be
categorized as patient preferences also emerged in
discussions of candidacy (e.g., the patient was not
satisfied with the palatal lift, the palatal lift was
inconvenient and embarrassing in social situa
tions, and the patient desired to permanently re
duce the impairment).
How Do We Know That Treatment Works?
One of the traditional ways of evaluating the qual
ity of evidence that treatment works is to rate the
type of study. Studies that randomly assign sub
jects into groups are generally considered the high
est quality. Nonrandomized group studies or case
subjects are generally considered to provide less
powerful evidence. Given the heterogeneity of the
dysarthria population, rating of evidence by type of
study has been called into question. (See Yorkston
et al., 2001, for a more complete discussion of the
merit of various systems for rating evidence.) In
EVIDENCE-BASED PRACTICE GUIDELINES FOR DYSARTHRIA
the current group of intervention studies focusing
on prosthetic management, 186 individuals with
dysarthria were included.
The psychometric adequacy of measurement was
assessed by indicating whether information was
provided regarding reliability and stability of the
measurement of the outcomes. For example, inter-
or intra-rater reliability, dispersion of judges’
scores, and comparison of measures to a gold stan
dard were all considered evidence of psychometric
adequacy. Unfortunately, this type of evidence was
often lacking. Although a trend over time toward
more rigorous measures was noted, the majority of
current studies do not report evidence of psycho
metric adequacy. Overall, approximately 20% of
the studies provided data about the psychometric
adequacy of the measures used.
Another way of rating the quality of evidence is to
evaluate the strength of control imposed by the
study; In other words, does support exist for the as
sertion that the treatment of interest was responsi
ble for the change in behavior/outcome measures
rather than some other explanation? Several studies
reported comparisons of measures of speech adequa
cy with and without the palatal lift. This can provide
strong evidence of internal validity (i.e., the palatal
lift was responsible for the change in outcome).
Among other indicators that interventions such as
palatal lifts were successful was the fact that speech
performance had not improved with many years of
behavioral intervention. Therefore, improvements
could be attributed to palatal lift intervention. The
trajectory of the disease also was cited as support of
the effectiveness of intervention. For some, the dis
ease course was degenerative and intervention main
tained a given level of speech production in the face
of progression of the underlying impainnent. For oth
ers, improvement in chronic and stable conditions
was cited as support of intervention effectiveness.
What Risks or Complications of
Palatal Lifts Were Identified?
The benefit of any intervention must be weighed
against the risks or complications inherent to the
treatment. Generally, the risks or complications of
palatal lift fitting were minor. Some studies sug
gested that tooth movement or injury to the soft tis
sue were risks, but none of the studies reported its
occurrence in any subjects. The most common com
plication of palatal lift fitting was intolerance in
the form of initial discomfort, inability to inhibit a
gag, and prosthesis retention difficulty. Some nega
tive speech-related changes were also reported,
263
such as difficulty with articulation, due to in
creased tonicity in laryngeallpharyngeal muscula
ture in some patients with severe spasticity. In
creased swallowing difficulty and hypersalivation
for short periods were also reported. Finally, some
authors reported a patient’s lack of acceptance of
the device and unrealistic expectations.
What Were the Outcomes of
the Intervention Studies?
Generally, the studies of palatal lift fitting reported
positive outcomes. Although criteria for success
vary; treatment was judged successful 76% of the
time in a series of 25 cases reported by Bedwinek
and O’Brian (1985). Optimum results were ob
tained in 32 and positive outcomes in 96% of 44
cases reported by LaVelle and Hardy (1979). Some
of the most common outcomes included improved
articulation, improved speech intelligibility, de
creased hypernasality, and more efficient use of
respiratory support for speech. A more complete de
scription of potential outcome measures can be
found in the measurement of outcomes section that
follows. Palatal lift fitting was found to be success
ful, but more difficult, in individuals who were
edentulous or had a spastic palate. The best results
were reported when the soft palate was flaccid and
when good pharyngeal wall movement was pre
sent. Most improvement was noted in individuals
who wore their lifts the longest.
Some of the early descriptions of palatal lift fit
ting (e.g., Mazaheri & Mazaheri, 1976) posed a
number of questions for further investigation. For
example, what is the relationship between the
palatal stimulation offered by palatal lift fitting
and the degree of neuromuscular function and re
covery? Although many clinicians have worked
with individuals who have experienced improve
ment in neuromuscular function after palatal lifts
were fitted, studies of groups of patients fitted with
palatal lift prostheses did not support a strong as
sociation between palatal lift fitting and recovery of
velopharyngeal function (Witt et al., 1995).
Personal testimonies of speakers with dysarthria
who use a palatal lift are also a source of informa
tion about treatment outcomes. Two of the individ
uals with ALS who participated in the Esposito et
al. study (2000) were interviewed by CBS Health-
watch (URL: www. cbshealthwatch.medscape, ac
cessed 6/00). Both linked use of the lift to their con
tinued ability to work. One individual, a financial
planner stated, “My livelihood is based on my com
munication skills. It is vital for me to be able to ex
264 JOURNAL OF MEDICAL SPEECH-LANGUAGE PATHOLOG VOL.9, NO. 4
press my thoughts.” The other; a business manager,
stated, “I doubt if I could work very effectively with
out the palatal lift.”
CLINICAL DECISION MAKING
The following presents an overview of clinical deci
sion-making about management of velopharyngeal
impairment in dysarthria. It is derived from con
clusions drawn from the evidence examined earlier
along with expert opinion both from the published
literature and a panel of reviewers. Figure 1 illus
trates a clinical decision-making flowchart for the
management of velopharygeal impairment in
dysarthria. The following section provides a de
tailed explanation of various aspects the flowchart
as well as a review of assumptions about the man
agement of dysarthria,
Figure 1. Diagram for clinical decision making for management of velopharyngeal impairment
dysarthria.
Assumptions
Before describing the flowchart, it is necessary to
review some of the assumptions upon which it is
based. These assumptions are presumed to be true
as they relate to the practice of speech-language
pathology.
Goal of Intervention. Enhancement of speech
and communication function is a fundamental tar
get of intervention.
Uniqueness of Speech. Speech motor control is
unique and different from other motor systems.
Therefore, it must be assessed as part of a compre
hensive physical examination and cannot be pre
sumed from neurologic deficits in other systems,
such as in limb function.
in
EVIDENCE-BASED PRACTICE GUIDELINES FOR DYSARTHRIA
Individual Assessment. The pattern and severi
ty of impairment in the various speech subsystems
varies from one population to another and from one
individual to another within each population.
Therefore, the pattern and severity of impairment
must be assessed individually.
Individual Intervention. Interventions vary as
a function of type of dysarthria, severity of dys
arthria, and co-existing factors. Therefore, individ
ual intervention plans must be developed.
Staging of Intervention. Dysarthria often is not
a stable condition. For example, children with de
velopmental dysarthria may experience physiolog
ic changes affecting speech production as they ma
ture. Adults with acquired dysarthria may
experience phases of recovery; as in dysarthria as
sociated with traumatic brain injury; or phases of
degeneration, as in dysarthria associated with
amyotrophic lateral sclerosis. Therefore, the stag
ing of intervention (i.e., the timing of treatment) is
critical for successful outcomes.
Appropriate Referrals. Practice will be conduct
ed by competent speech-language pathologists who
refer to other disciplines when appropriate (e.g., for
prosthodontic consultation when a palatal lift pros
thesis is considered appropriate).
Clinical Competence. Practice will be conducted
by competent speech-language pathologist in an
appropriate and efficient manner.
Disclosure. Clinicians will communicate both
the benefits and risks (including financial) of the
treatment.
Assessment of VP Function
Assessment of velopharygeal function in speakers
with dysarthria assumes an understanding of nor
mal function. While it is beyond the scope of this ar
ticle to review normal velopharyngeal function, ex
cellent sources of information are available (e.g.,
Kuehn & Mollei 2000). The following section sum
marizes the components of an assessment of
velopharyngeal function in dysarthria that may be
considered depending on the constellation of
deficits and the desired outcomes of each client. As
sessment consists of four components: history tak
ing, speech evaluation, physical examination, and
examination of the velopharyngeal mechanism.
265
History Taking
This phase of the assessment involves gathering
pertinent information from the patient, the medical
records and the referral source. Information should
be gathered on areas such as the following:
• the onset of symptoms and medical/dental
history
• the nature, duration, and natural course of
velopharyngeal (VP) impairment
• reports of previous treatment
• the level of concern about the problem
(Netsell, 1988)
• the patient’s motivation relative to treat
ment (Wolfaardt, Wilson, Rochet, & McPhee,
1993)
Speech Evaluation
Determining the severity of the velopharyngeal im
pairment and the degree to which the velopharyn
geal impairment disrupts speech production is crit
ical to establishing the need for intervention and
for accurate therapeutic intervention (Krummer &
Lee, 1996). The perceptual assessment of speech
includes an examination of the following:
• stimulability for improved speech production
• perceptual judgment of presence and
degree of hypernasal resonance, audible
nasal emission, loudness (as possibly
diminished by damping effects of the nasal
cavity) and “strength” and precision of
pressure consonants as a function of velo
pharygeal closure
• connected speech with ratings across
audiences (e.g., untrained versus familiar
listeners)
• phonation
• performance on articulation tests including
relative differences in the accurate produc
tion of nasals and pressure consonants
(Yorkston, Beukelman, Honsinger, & Mitsu
da, 1989; Yorkston, Beukelman, & Traynor;
1988).
• difference in intelligibility, pressure conso
nants, speaking effort, syllables per breath
group, and resonance with nares occluded
versus unocciuded
Physical Examination
This involves an assessment of the structure and
function of the oral mechanism, including the
following:
266 JOURNAL OF MEDICAL SPEECH-LANGUAGE PATHOLOGY VOL.9, NO. 4
• the velopharynx at rest and during movement
• the modified tongue-anchor test (Duffy;
1995)
• dental occlusion
• the sensitivity of the gag reflex
• swallowing ability and saliva management
• signs of a submucous cleft (Kruminer &
Lee, 1996; Wolfaardt et al., 1993).
Instrumental Examination of the
Velopharyngeal Mechanism
Instrumental examination of the velopharyngeal
mechanism is necessary to directly observe and
measure velopharyngeal activity (Duffy, 1995; Till,
Jafari, & Law-Till, 1994; Wolfaardt et al., 1993).
Instrumentation may include videoflouroscopy,
nasoendoscopy, aerodynamic (pressure-flow) as
sessments, and acoustic assessment. This instru
mentation allows for the evaluation of
• intraoral air pressure and nasal airflow
during production of pressure consonants
• palatal movement
• lateral pharyngeal wall movement
• sphincteric activity during speech
• nasal airflow and intraoral air pressure
• the timing of velopharygeal movements
Behavioral Intervention
The assessment of velopharyngeal function leads to
one of two conclusions (see Figure 1): adequate
velopharyngeal function or velopharyngeal impair
ment. If velopharyngeal function is judged to be ad
equate, those individuals with progressive disor
ders are followed and reassessed. If velopharygneal
impairment is identified, then decisions are made
about the appropriateness of behavioral interven
tions. Generally, those individuals who are appro
priate for behavioral intervention are those who
can compensate (or will be able to compensate if re
covery continues) for the velopharyneal impair
ment (Netsell & Rosenbek, 1985). The question of
whether or not speakers are able to compensate for
velopharyngeal impairment can be addressed by
evaluating stimulability (the ability to improve
performance under certain conditions). The follow
ing techniques can be used to assess stimulability:
• changing speaking rate (e.g., slowing the
speaking rate)
• changing the level of effort (e.g., increasing
effort for an individual with mild velopha
ryngeal weakness or decreasing effort for
individuals with ataxia who exhibit a pat
tern of excess effort)
• monitoring excess nasal airflow and reso
nance features
• increasing the precision of speech by exag
gerating articulatory movements (“clear
speech”)
Decisions about how to treat patients with
velopharyngeal impairment of moderate severity
can be difficult. For example, expert opinion differs
somewhat regarding the timing of palatal lift in
tervention hi moderately severe cases. Some argue
that velopharyngeal management should be car
ried out prior to phonation, articulation, andlor
prosody exercises for speakers who are recovering
function. Others would suggest that velopharyn
geal management should occur only after the
speaker can phonate voluntarily. The clinician
needs to consider several factors, including the rel
ative severity of involvement in other functional
components, to determine whether treatment of
the velopharynx would enhance function in other
areas (e.g., tax respiration less), and whether
velopharyngeal function would benefit from treat
ing other components first or from modifying the
patient’s speaking rate or effort (Netsell & Rosen
bek, 1985).
Techniques Focusing on Speech Production
A variety of behavioral interventions have been
recommended for individuals with dysarthria. Be
cause velopharyngeal impairment may be mild and
part of a pattern of impairment crossing multiple
speech subsystems, this type of intervention is con
sidered the most common treatment of velopharyn
geal impairment in dysarthria. It should be noted
that most behavioral interventions for velopharyn
geal impairment suggested here arise from expert
opinion rather than from research findings. It
should also be noted that there is little guidance
from the evidence or expert opinion about how long
these interventions should be applied before either
an effect can be expected or the intervention aban
doned. These techniques will be reviewed in more
detail in subsequent modules of the Practice Guide
lines for Dysarthria. Generally, the behavioral
techniques include the following:
EVIDENCE-BASED PRACTICE GUIDELINES FOR DYSARTHRIA
Modifying the Pattern of Speaking. Examples
of such modifications include producing speech
with increased effort (Liss, Kuehn, & Hinkle, 1994)
or a slower rate (Yorkston & Beukelman, 1981;
Yorkston, Beukelman, Strand, & Bell, 1999).
Speakers can also be trained to produce clear
speech by mimicking the overarticulated speech of
a trained talker. Overarticulated speech can be
elicited by prompting with comments like, “open
your mouth more,” “speak more clearly,” “overartic
ulate,” and “talk slowly” (Picheny, Durlach, & Brai
da, 1985).
Resistance Treatment During Speech. Con
tinuous positive airway pressure (CPAP) is an
emerging intervention technique reported to be an
effective means of exercising the soft palate during
speech in two individuals with traumatic brain in
jury The technique provides a resistance against
which the muscles of velopharyngeal closure must
work (Kuehn, 1997; Kuehn & Wachtel, 1994). A
theoretical rationale for strength training is avail
able (Liss, Kuehn, & Hinkle, 1994).
Feedback. The use of biofeedback techniques for
therapy has been suggested for velopharyngeal im
pairment in dysarthria. Some speakers may bene
fit from feedback from a mirror, nasal flow trans
ducer, or nasoendoscope during efforts to decrease
nasal air flow and hypernasality (Rosenbek & La
Pointe, 1985). The following are some of the instru
mental feedback techniques discussed in a chapter
by Murdoch, Thompson, and Theodoros (1997) on
spastic dysarthria:
• flexible endoscope (provides visual feed
back of the movements of the lateral pha
ryngeal wall)
• fiberoptic nasopharyngoscopes (obtains
close observations of VP sphincter during
connected speech)
• Exeter Bio-Feedback Nasal Anemometer
(EBNA; Bioinstrumentation LTD Exeter)
Techniques Focusing on
Nonspeech Movements
Therapy techniques appear in the literature that
are based primarily on nonspeech movements of
the velopharyngeal mechanism. These have gener
ally not been endorsed by experts for several rea
sons: (a) speech and nonspeech velopharyngeal clo
sures involve different underlying mechanisms; (b)
267
no evidence exists that increasing soft palate
strength improves speech performance; and (c)
most of the methods do not provide the patient
with information on the timing of articulatory ges
tures during speech (Murdoch et al., 1997). Evi
dence and expert opinion suggest that the following
techniques for improving velopharyngeal function
are not effective (Brookshire, 1992; Duffy, 1995;
Dworkin & Johns, 1980; Hageman, 1997; Johns,
1985; Murdoch et al., 1997; Netsell & Rosenbek,
1985; Yorkston et al., 1999):
• Pushing techniques (particularly for pa
tients with spastic dysarthria)
• Strengthening exercises, such as blowing
and sucking
• Tasks that encourage the patient to control
and modify the airstream using balls, whis
tles, candles, fluff; powder; paper; bubbles,
straws, etc.
• Inhibition techniques, such as prolonged
icing, pressure to muscle insertion points,
slow and irregular stroking and brushing,
and desensitization.
Prosthetic Intervention
Candidacy for Palatal Lift Fitting
If assessment reveals that velopharyrigeal impair
ment is present and the speaker is not able to com
pensate for that impairment, a palatal lift prosthe
sis may be considered for selected cases, especially
those with a flaccid soft palate. A palatal lift is a
rigid acrylic appliance fabricated by a prosthodon
tist. It consists of a retentive portion that covers the
hard palate and fastens to the maxillary teeth by
means of wires and a lift portion that extends along
the oral surface of the soft palate. Issues regarding
candidacy for palatal lift fitting have been de
scribed extensively (Bedwinek & O’Brian, 1985;
Duffy 1995; Esposito et al., 2000; Murdoch et aL,
1997; Netsell, 1998; Yorkston et aL, 1999). Because
timing of intervention is different for individuals
with progressive as opposed to stable-recovering
dysarthrias, candidacy in each population will be
discussed separately.
Progressive Dysartbria. Table 3 ifiustrates char
acteristics of better versus poorer candidates for
palatal lift fitting in progressive dysarthria. Better
candidates are those with a slow rate of disease
progression and intact cognition, memory, judg
 268 JOURNAL OF MEDICAL SPEECH-LANGUA
GE PATHOLOGY, VOL.9, NO. 4
TABLE 3. Characteristics of better and poorer cand
idates for palatal lift fitting in progressive dysarthria.

Better Candidates Poorer Candidates

Neurophysiology of the soft palate
Flaccidity Severe spasticity
Rate of neurologic change
Slow Rapid
Respiratory/phonatory function
Adequate Poor
Articulation
Adequate Poor
Change in plosionlresonance with occlusion
Present Absent or minimal
Difference between intelligibility of pressure and othe
r Pressure consonants much No or minimal
consonants
less intelligible than others difference between
pressure and other
consonants
Able to inhibit gag
Yes No
Swallowing and saliva management
Adequate Reduced
Dentition
Adequate Poor
Cognition/memory/judgment
Intact Reduced
Manual dexterity
Able to insert and remove lift Unable to insert or
remove lift
Patient goals for speech
Maintenance of functional Decreased function is
speech is important to the acceptable
speaker

ment, swallowing, and manual dexterity. Respira

Palatal Lift Fitting Procedures
tory/phonatory and oral articulatory function is
ad
equate in these individuals, while the soft palat The following provides an outline of the typical
e
movement is impaired by weakness from flacc steps taken to construct a palatal lift (Yorksto
idity n et
versus severe spasticity. Speech is characterized al., 1999). Variations of the procedures will occu
by r
a disproportionately reduced ability to produce (Netsell, 1998; Wolfaardt et al., 1993). Discussions
pressure consonants. Maintenance of functiona of the use of instrumentation as part of palatal lift
l
speech is critical to the speakers. Because only design also are available (Turner and Williams
in ,
rare cases are all of these candidacy issues positive, 1991; Karnell, Rosenstein, & Fine, 1987).
clinical judgment is needed to weigh positive ver
sus negative factors. • The speaker’s teeth and gums are checked
and needed restoration is completed.
Stable or Recovering Dysarthria. Table • Orthodontic bands or acrylic ridges are
4 il
lustrates characteristics of better versus poor secured to selected teeth (optional).
er
candidates for palatal lift fitting in stable or reco • An oral cavity desensitization program is
v
ering dysarthria. As in degenerative dysarthri begun for those speakers with hyperactive
a,
the better candidate has a stable or slow rate gag reflexes (Daniel, 1982).
of
change. Those with rapid improvement are typic • An impression mold of the maxillary arch
al
ly not considered good candidates because enough is taken.
function may soon return to support good spee • A dental retainer (the portion covering the
ch
without prosthetic intervention. Unlike progressi hard palate) of the lift is fabricated with a
ve
dysarthria, good articulation is not as critical wire loop extending posteriorly as an
for
individuals with a recovering pattern because
ar anchor for the posterior portion of the lift.
ticulation and respiratory function can be expe
cted • The posterior portion of the lift is cus
to improve once the lift is fitted, especially with
tomized to meet the needs and tolerances of
concurrent speech treatment. In better candidate
s, the individual speaker.
speech is characterized by disproportionately re
• Follow-up visit are conducted with the
duced ability to produce pressure consonants.
prosthodontist and speech-language pa-
EVIDENCE-BASED PRACTICE GUIDELINES FOR DYSARTHRIA 269

TABLE 4. Characteristics of better and poorer candidates for palatal lift fitting in stable or recovering dysarthria.

Better Candidates Poorer Candidates

Neurophysiology of the soft palate Flaccidity Severe spasticity
Rate of neurologic change Stable or slow improvement Rapid improvement
Respiratory/phonatory function Adequate or recovering Poor
Articulation Adequate or recovering Poor
Change in plosion/resonance with occlusion Present Absent or minimal
Difference between intelligibility of pressure and other Pressure consonants much No or minimal
consonants less intelligible than others difference between
pressure and other
consonants
Able to inhibit gag Yes No
Swallowing and saliva management Adequate Reduced
Dentition Adequate Poor
Cognition/memory/judgment WNL or mild to moderate Less than LOCF V
impairment
Manual dexterity Able to insert and remove lift Unable to insert or
remove lift
Patient goals for speech Improved speech is critical Decreased function
is acceptable

thologist to adjust the length and torque of
the lift to maximize fitting.
Follow-up visits are planned to monitor the
adequacy of the fitting. According to Espos
ito and colleagues (2000), prosthetic treat
ment for progressive disorders must be
ongoing. Modifications to the prosthesis are
made on a regular basis to accommodate for
the progression of the disease. It is common
to make changes to the lift and the augmen
tation of the hard palate portion for speak
ers with increasingly severe dysarthria.
Behavioral Intervention for Poor
Candidates for Palatal Lifts
If the speaker is judged to be a poor candidate for
palatal lift fitting, several behavioral strategies are
available to establish or maintain communicative
function (Hustad & Beukelman, 2000; Yorkston et
al., 1999). Behavioral intervention may be em
ployed so that speakers can improve the effective
ness of their communication. The following specific
techniques will be reviewed in subsequent modules
of the Practice Guidelines for Dysarthria:
Alphabet supplementation is a technique
to improve intelligibility in severe
dysarthria. The speaker points to the first
letter of each word as that word is spoken.
• Partner techniques are strategies initiated
by the communication partner including
maintaining the topic identity, paying undi
vided attention, and piecing together cues
from the speaker with dysarthria.
• Speaker strategies are used to heighten the
intelligibility of severely dysarthric speech,
including the use of gestures, selecting a
conducive communication environment,
and using turn maintenance signals.
• Augmentative and alternative communica
tion techniques include use of devices to
replace or supplement highly distorted speech
(Beukelman, Yorkston, & Reichle, 2000).
Surgical Intervention
Surgical management for velopharyngeal impair
ment in dysarthric speakers also has been report
ed. Generally, it is considered less beneficial than
prosthetic management and is contraindicated in
children with cerebral palsy (Hardy et al, 1961;
Lotz & Netsell, 1989). Johns (1985), however, sum
marized his positive experiences with a substantial
number of dysarthric speakers with velopharyn
geal impairment who had superiorly based pha

270 JOURNAL OF MEDICAL SPEECH-LANGUAGE PAT
ryngeal flaps. Because of the drawbacks to surgery
(e.g., risks inherent to the procedure itself perma
nence of the procedure, possibility of new
speechlresonance problems, and so on), it is typi
cally considered only after behavioral and pros
thetic management have been tried and failed.
Surgical management of velopharyngeal impair
ment warrants further study especially for those
speakers with severe and stable impairment.
MEASUREMENT OF OUTCOMES
It is increasingly important to document the out
comes of intervention. A variety of outcome mea
sures may be obtained (Table 5) and can be catego
rized using terminology from the World Health
Organization model of disablement (World Health
Organization, 1999; Frattali, 1998).
Impairment
An impairment is a loss or abnormality of body
structure or of a physiological or psychologic func
tion. For example, airflow through the velopharyn
geal port during production of pressure consonants
may be measured. Physiologic or psychophysical
measurements of behavioral change should be con
sidered whenever possible (Netsell, 1978; Netsell &
Rosenbek, 1985; Johns, 1985). These include aero
TABLE 5. Examples of outcome measures
used to evaluate velopharyngeal manage
ment in dysarthria.
Impairment
• Radiographic
• Physical examination results
• Aerodynamic measures
• Phonation time
• Rating of severity by speech subsystem
• Pulmonary function tests
Activity Limitation
• Perceptual changes in hypernasality
• Perceptual changes in articulation
• Perceptual changes in voice
• Perceptual changes in intelligibility
• Reduction in effort
Participation Restriction
• Return to work
• Speaking without fatigue
• Reports of self-confidence, self-esteem
• Reports of improved quality of life
HOLOG VOL.9, NO. 4
dynamic assessments, which is perhaps the most
direct means of documenting the impact of a
palatal lift (McHenry, Wilson, & Minton, 1994;
Yorkston et al., 1999); radiographic measurements
(Aten, McDonald, Simpson, & Gutierrez, 1984;
Kipfixieuller & Lang, 1972); and acoustic analyses
(Johns, 1985).
Activity Limitations
Activity is the nature and extent of functioning at
the level of the person. Activities may be limited in
nature, duration, and quality. For example. mea
sures of the intelligibility, speaking rate, and natu
ralness of speech may be used as a measure of func
tioning in dysarthria. Activity limitations are
typically measured perceptually. Listener percep
tions frequently are assessed through phoneme in
telligibility and/or sentence intelligibility, but may
also include perceived changes in hypernasality
and nasal emission. Phoneme intelligibility allows
an examination of articulatory error patterns with
and without the lift in place (e.g., Yorkston, Beuk
el
man et al,, 1989). Senten ce intellig ibility is one of
the best means of assessi ng the functio nal change s
brought about by the palatal lift (Yorkston et al.,
1999).
Participation Restriction
Participation is the nature and extent of a person’s
involvement in life situations in relation to impair
ments, activities, health conditions, and contextual
factors. As with activity limitations, participation
may be restricted in nature, duration, and quality.
For example, report of use of speech in natural com
munication situations, such as public speaking, may
be used as a measure of participation. Measures of
participation are not commonly reported in the in
tervention literature. They are, however; important.
As stated by Johns (1985), speech pathologists are
urged to measure, as objectively as possible,
changed aspects of a patient’s psychological status,
that is, his/her adaptation to the environment.
SUNMARY
A variety of techniques are available for the man
agement of velopharyngeal impairment in dysar
thria. This summary is based on a review of the
in
tervention studies that emerged from a search of
the literature and from expert opinion. It suggests
the following:
EVIDENCE-BASED PRACTICE GUIDELINES FOR DYSARTHRIA
1. Prosthetic intervention, particularly palatal lift
fitting, has a long history associated with
improved speech function in selected individuals
with dysarthria.
2. Surgical intervention is generally not considered
unless all other interventions have failed. Cur
rently, there is not sufficient evidence in the liter
ature to make recommendations about surgical
intervention for the general dysarthria popula
tion.
3. Exercise as a treatment of velopharyngeal impair
ment in dysarthria has been reported in a small
number of cases, but evidence is so preliminary
that reconunendations for its use cannot be made
at this time.
Because dysarthria is a heterogeneous disorder,
a single intervention or type of intervention cannot
be expected to be effective for all speakers with
dysarthria. Palatal lift intervention has been the
most carefully studied. Even in this case, making
general statements about the appropriateness of
palatal lift fitting in dysarthria is difficult. Rather,
it is more useful to describe a candidacy profile. The
better candidates for palatal lifts have the charac
teristics listed in Tables 3 and 4. The most critical
indicator of candidacy is weakness in the soft
palate that prevents closure of the velopharyngeal
mechanism during speech. Other candidacy indica
tors include pharyngeal wall movement, good oral
articulation and respiratory support, and a rela
tively stable clinical course. Some nonspeech fac
tors that may also contribute to being a good can
didate include intact swallow, cognition, and
manual dexterity along with the desire to maintain
or regain speech. For individuals with all of these
characteristics, palatal lift fitting would be strong
ly recommended as a standard of practice. Most
dysarthria speakers do not fit the profile of the
“better candidate.” Therefore, as the characteristics
of the speakers move away from the ideal, the rec
ommendation for palatal lift fitting becomes less
and less strong. For an individual with all of the
characteristics of a “poorer candidate,” palatal lift
fitting would not be an appropriate clinical option.
The preponderance of palatal lift interventions
found in the literature does not reflect the distrib
ution of interventions found in typical clinical prac
tice. In fact, palatal lifts are fitted only in the mi
nority of speakers with dysarthria, specifically
those with a particular candidacy profile. In the
majority of speakers with dysarthria, velopharyn
geal impairment is part of a complex pattern of
subsystem involvement and affects many aspects
271
of speech production. Behavioral intervention is ap
propriate in these individuals, and includes such
strategies as rate and effort modification, monitor
ing of emission/resonance, and exaggerated articu
lation.
The following is a listing of some needs of future
research in the management of velopharyngeal
impairment:
• Better descriptions of fitting protocols
• More complete description of current clini
cal practice focusing on prevalence of vari
ous types of intervention
• Better descriptions of speech function
(other than palatal function)
• A more comprehensive set of outcome mea
sures (including measures of communica
tive participation)
• Better description of the psychometric ade
quacy of the outcome measures
• Efficacy studies focusing on post-fitting
behavioral intervention and distinguishing
the natural accommodation to palatal lift
placement from the benefits of additional
behavioral speech treatment
• Studies of the timing of intervention, for
example, a comparison of early versus later
palatal lift fitting in individuals with trau
matic brain injury
• Documentation of the best techniques for
palatal lifting fitting in challenging cases,
such as children with mixed dentition,
adults with dentures, individuals with
hyperactive gag reflexes, and so on
• Better documentation of the impact of
behavioral intervention and other treat
ment approaches including surgical man
agement
• We need to determine the relative effec
tiveness of various treatments or “what
works best and for whom” by comparing
different approaches to management of
velopharyngeal impairment (e.g., palatal
lift versus behavioral management versus
both; behavioral nonspeech techniques ver
sus speech techniques.)
Acknowledgment This work was supported in
part by the Academy of Neurologic Communication Dis
orders and Sciences (ANCDS) and a personal training
grant (T32DC00033) from the National Institute on
Deafness and Other Communication Disorders, Nation
al Institutes of Health, to the University of Washington.
272 JOURNAL OF MEDICAL SPEECH-LANGUAGE PATHOLOGY, VOL.9, NO. 4
Address correspondence to Kathryn M. Yorkston,
Ph.D., Rehabilitation Medicine, Box 356490, University
of Washington, Seattle, WA 98195-6490 USA.
e-mail: yorkston@u.washington.edu
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